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UPCOMING EVENT
Jan
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Monthly CAT Update (January 16, 2025)
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05/11/2021
Event
Industry Testing Checkpoint Call (May 11, 2021)
Industry Testing Checkpoint Call (5/11/2021)- Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
05/11/2021
Event
CAT Technical Specification Working Group Q&A - May 11, 2021
CAT Technical Specification Working Group Q&A- 5/11/21
May 2021 Technical Specification Updates Presentation- 5/11/21
Audio file
Topics
B. Reporting Requirements
05/10/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r13 (Redlined)
Topics
B. Reporting Requirements
05/10/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r13
05/07/2021
Technical Specifications
Customer & Account Technical Specifications for Industry Members v2.0 r2
05/06/2021
FAQ
K6.
When an Industry Member receives a simple electronic order in Listed Options and solicits interest in the execution of the order, are the solicitation and the responses to the solicitation reportable in Phase 2b?
Topics
K. Options
05/06/2021
FAQ
K12.
The concept of selling long or short is not applicable to options. How should the side field be populated on options events for a sell order?
Topics
K. Options
05/05/2021
Event
Monthly CAIS/LTID Industry Testing Checkpoint Call and Transformed Identifiers Creation Webinar (May 5, 2021)
Monthly CAIS/LTID Industry Testing Checkpoint Call (5/5/21)- Presentation
TID Creation Webinar (5/5/21)- Presentation
Audio file
Topics
M. Firm Designated ID
P. Feedback and Error Correction
Q. Customer and Account Information
05/05/2021
Reference Material
Plan Amendment Related to Revised Funding Model- Additional Details 5/5/21
05/04/2021
FAQ
B71.
What are the CAT reporting requirements for equity and option orders tied at a net price to equity, fixed income, futures, or another product that is not CAT reportable?
Topics
B. Reporting Requirements
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